Andrew R. Face
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Ray Face, who also goes by Andy Face, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1989. Andrew had worked at 4 firms and has passed the Series 63, SIE, Series 52 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - July 10, 2017
MARTIN NELSON & CO., INC.
May 7, 2007 - October 9, 2008
STONEBRIDGE SECURITIES LLC
March 20, 1995 - November 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 31, 1989 - January 16, 1995
SEATTLE-NORTHWEST SECURITIES CORPORATION
Primary Firm SEC Registration
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
Contact information
SEC notice filing (6 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 392 |
| AUM (Assets Under Management) | $ 260,010,706 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
